Alerts from foreign regulators. unauthorised entities
As a member of the European Securities and Markets Authority (ESMA) and of the International Organization of Securities Commissions (IOSCO), the CNMV regularly receives alerts issued by foreign securities regulators on companies that are not authorised to provide investment services in the countries listed in the alerts.
This page lists alerts shared with the CNMV directly by other countries´ supervisory bodies or transmitted centrally through the ESMA. However, we are unable to list on this page alerts transmitted by supervisory bodies to IOSCO. We therefore recommend that you also check out the following webpage: Investor Alerts Portal
The CNMV warns that the information on this page has been provided by foreign supervisory bodies, which assume responsibility for the contents of such information.
Search for warnings on companies whose names start with
Click the heading of the "Date" column or of the "Targeted companies" column to sort results in ascending/descending order.
Page 18 out of 28
Search for Public warnings issued by foreign Securities Regulators
| Date | Targeted companies | Document (English) | Regulator | Comments |
| 28/03/2007 |
-
NEW YORK PETROLEUM OPTION EXCHANGE (NYPOE)
|
| CFTC (ESTADOS UNIDOS) | |
| 28/03/2007 |
-
NEW YORK OPTIONS EXCHANGE (NYOEX)
|
| CFTC (ESTADOS UNIDOS) | |
| 20/12/2017 |
|
| FCA (REINO UNIDO) | |
| 15/06/2011 |
-
NEW YORK GLOBAL GROUP, INC.
|
| SFSA (SUECIA) | |
| 14/01/2009 |
|
| FSA (REINO UNIDO) | |
| 04/01/2012 |
|
| FSA (REINO UNIDO) | |
| 15/04/2009 |
-
NEW YORK CAPITAL INVESTMENT
|
| SFSA (SUECIA) | |
| 23/08/2006 |
-
NEW WORLD FINANCIAL EUROPE, S.L.
|
| FSC (ISLA DE MAN) | VER ADVERTENCIAS CNMV |
| 16/08/2006 |
-
NEW WORLD FINANCIAL EUROPE, S.L.
|
| NAFM (PAISES BAJOS) | VER ADVERTENCIAS CNMV |
| 20/09/2006 |
|
| FMA (AUSTRIA) | VER ADVERTENCIAS CNMV |
Consultation criteria: By type unauthorised entities, By initial N.